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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2022-07-08
  • DE RA
    APPROVED
    Since 2022-07-08

Branch Locations

18949 Coastal Hwy, Rehoboth Beach, DE 19971 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Lewes DE 03/2013 11/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 11/2017
Janney Montgomery Scott, Llc Greenville DE 11/2017 08/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rehoboth Beach DE 07/2022 Present
Bank Of America, N.A. Rehoboth Beach DE 09/2022 Present
Previous Registrations
Other Businesses

I*2623270, Entity Type: , Name of OBA: L W, Address: Milton, Delaware, 19968, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 07/15/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-24
  • S66 Uniform Combined State Law Examination
    2013-05-24

View on SEC IAPD

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